Colonial Stock Transfer

What Colonial Stock Transfer does

Colonial Stock Transfer Company, Inc. is a privately-held, SEC-registered transfer agent founded in 1987 and headquartered in Salt Lake City, Utah. The company provides full-service stock transfer and registrar services to public companies listed on NYSE, NASDAQ, NYSE American, NYSE ARCA, IEX, and OTC Markets (OTCQX, OTCQB, Pink), as well as private companies, SPACs, crowdfunding issuers (Reg CF, Reg A+, Reg D 506), and companies pursuing IPOs. Its service portfolio spans transfer agency, cap table management, employee equity plan administration (ESPP, stock options, RSUs, RSAs), SEC EDGAR and XBRL filing, DTC FAST/DRS/DWAC electronic settlement, proxy and virtual annual meeting management, corporate actions, press release distribution via Accesswire, Blue Sky compliance, CUSIP applications, and stock exchange listing consultation.

The underlying technology is a proprietary cloud-based Online Cap Table Management Platform supporting unlimited securities classes, real-time shareholder recordkeeping, stock option tracking with Black-Scholes and Binomial valuation, FAS123(R)/IFRS-2 compliance reporting, and 128-bit encryption with daily backups. An affiliated entity, Colonial Filings, extends the platform into SEC EDGAR/XBRL filing. Distribution is direct (issuer and shareholder web portals, dedicated account managers, phone-based enterprise sales) supplemented by referral relationships with market makers, investment bankers, securities attorneys, brokers, and equity crowdfunding funding portals.

Name

Colonial Stock Transfer

Legal name

Colonial Stock Transfer Company, Inc.

Website

https://colonialstock.com

Company type

Private

Founded year

1987

Operating status

Operating

Headcount range

11–50 employees

Ownership category

akta.pro rank

Product category

Stock Transfer Agent Services

NAICS

Financial Transactions Processing, Reserve, and Clearinghouse Activities (522320), Investment Banking and Securities Intermediation (523150)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Transfer Agency & Shareholder Recordkeeping (FSAAAMAA)

akta.pro secondary industries

Unit Registry & Transfer Agency for Alternatives (Private Funds, SPVs, Closed-End) (FSAAAMAK), AML/KYC, Investor Onboarding & Compliance Services (FSAAAMAE), Transfer Agency & Shareholder Recordkeeping (Custody-Linked) (FSAFAHAJ), Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL), National CSDs & Domestic Settlement Systems (FSAFAGAA)

Keywords

• Stock transfer agent
• Cap table management
• SEC filing services
• Proxy voting services
• Equity plan administration

Headquarters

HQ city

Salt Lake City

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Transfer Agent Services: Full-service stock transfer agent fees for issuing shares, processing transfers, maintaining shareholder records, and providing DTC FAST/DRS/DWAC services. Revenue is generated through service fees per transaction and ongoing account management.
2. Cap Table Management: Online cap table management platform subscription for private and public companies, including unlimited classes of securities and stock issuances (Gold plan).
3. Employee Plan Services: ESPP administration and full-service stock option, RSU, and RSA tracking coordinated with transfer agent services, plus DIY stock option tracking software licensing.
4. SEC Filing Services: EDGAR and XBRL filing services for SEC reporting entities including Form S-1, 10-Q, 10-K, 8-K, Form D, Crowdfunding filings, and Reg A+ filings (Form 1-K, 1-SA, 1-U, 1-Z).
5. Press Release Services: Financial press release distribution through partnership with Accesswire at 20% discounted rates for Colonial clients, plus a flat-rate DIY option at $210.
6. Consultation Services: Per-hour consultation for 15c-211 applications, DTC/FAST eligibility, IPO/SPOs, PPMs, corporate actions, stock exchange applications, and shell company networking.
7. Proxy & Annual Meeting Services: Full-service proxy meeting management including Notice and Access hosting, printing, mailing, tabulation, and virtual meeting hosting.
8. Corporate Action Services: Processing of corporate actions including mergers and acquisitions, stock splits, name changes, spin-offs, private placements, IPOs, tender offers, and warrant offerings.

Pricing tiers

Go-to-market motion2 records

Distribution channels6 records

Marketing channels5 records

Core offering

Colonial Stock Transfer is an SEC-registered transfer agent providing full-service stock transfer and registrar services, online cap table management, employee equity plan administration, SEC EDGAR/XBRL filings, DTC FAST/DRS/DWAC electronic settlement, and proxy and shareholder meeting services to public companies (NYSE, NASDAQ, OTC), private companies, SPACs, and crowdfunding issuers. The company combines a proprietary cloud-based cap table platform with dedicated account managers and consultative support across the IPO, exchange listing, and post-listing lifecycle. Founded in 1987, Colonial has served hundreds of issuers and operates through dedicated account managers supported by 24/7 online portal access for issuers and shareholders.

Product overview

Colonial Stock Transfer is an SEC-registered transfer agent and cap table management provider founded in 1987, offering a platform-plus-services model that combines a proprietary cloud-based Online Cap Table Management Platform with integrated full-service transfer agent capabilities. The core product includes the Transfer Agent Services (covering stock transfers, issuances, DTC FAST/DRS/DWAC, proxy meetings, corporate actions, shareholder support, and escrow) underpinned by the Online Cap Table Management Platform for real-time cap table tracking, unlimited securities classes, and regulatory compliance. Additional modules include IPO, NASDAQ/NYSE, OTC, SPAC, Private Company, Crowdfunding (Reg CF/Reg D), and Regulation A+ Transfer Agent Services for different company types and listing venues; Employee Plan Services and Stock Option Tracking Software for equity compensation management; EDGAR and XBRL Filing Services for SEC regulatory filings; DTC Eligibility Services including FAST/DRS/DWAC Transactions for electronic securities settlement; Proxy & Annual Meeting Services and Virtual Shareholder Meeting Services with an integrated Online Proxy Voting Portal for shareholder voting; Press Release Services via Accesswire; Corporate Action Services; Stock Exchange Listing Consultation; Blue Sky Compliance; CUSIP Applications; and an investor-facing Shareholder Services portal. The portfolio is positioned for companies at every stage from private/crowdfunding through to NYSE/NASDAQ listed, with services delivered through dedicated account managers and 24/7 online access.

Differentiator

Problem solved

Functional benefit

Products and services

• Transfer Agent Services Full-service SEC-registered stock transfer and registrar services for public and private companies, including stock transfers, issuances, restriction removals, DTC FAST/DRS/DWAC processing, dividend paying agent, lost shareholder searches, electronic/book-entry certificate issuances, escrow services, proxy meetings, and shareholder support.
• Online Cap Table Management Platform Cloud-based proprietary platform for tracking cap tables, managing unlimited securities classes, stock issuances, shareholder records, stock options and awards, employee plans, corporate governance tracking, and real-time regulatory compliance reporting for both public and private companies.
• EDGAR Filing Services SEC EDGAR filing agent services enabling issuers to file registration statements (S-1, F-1, 1-A), quarterly and annual reports (10-Q, 10-K), Section 16 filings, Form D, Crowdfunding filings, and automated SEC filing hosting through the EDGAR system.
• XBRL Filing Services XBRL (eXtensible Business Reporting Language) tagging and filing services including iXBRL (inline XBRL) for SEC regulatory filings, enabling machine-readable financial and business reporting for SEC reporting entities and mutual funds.
• Employee Plan Services Comprehensive employee equity compensation management including Employee Stock Purchase Plan (ESPP) administration, full-service Stock Option, Restricted Stock Unit (RSU), and Restricted Stock Award (RSA) tracking coordinated with transfer agent services.
• Stock Option Tracking Software Cloud-based DIY software for managing all employee stock options, restricted shares, warrants, RSUs/RSAs, phantom units, and other equity instruments. Includes Black-Scholes and Binomial valuation, vesting schedules, FAS123(R)/IFRS-2 compliant expense reporting, and 128-bit encrypted web-based access for employees, brokers, and administrators.
• IPO Transfer Agent Services End-to-end transfer agent support for companies completing an initial public offering, including transfer agency appointment, shareholder data preparation, custodian/paying agent services, share issuance and distribution, closing call support, DTC eligibility, exchange listing advisory, and EDGAR/XBRL filing of registration statements.
• NASDAQ/NYSE Transfer Agent Services Specialized transfer agent services for NASDAQ and NYSE listed companies, including DTC FAST/DWAC/DRS eligibility, reserved shares tracking, corporate actions, 24/7 online account access, proxy voting and tabulation, virtual shareholder meetings, and cash/stock dividend payments.
• OTC Transfer Agent Services Transfer agent services tailored for OTC Market Group listed companies (OTCQX, OTCQB, OTC Pink), including SEC shareholder record maintenance, online cap table management, issuances and transfers, OTC Verified Shares Program participation, FINRA corporate action services, and DTC eligibility assistance.
• SPAC Transfer Agent Services Specialized transfer agent services for Special Purpose Acquisition Companies (SPACs) covering the full SPAC and de-SPAC lifecycle, including shareholder record management, escrow/trust account coordination, warrant tracking, redemption processing, proxy tabulation, virtual/hybrid meeting hosting, and post-merger corporate actions.
• Private Company Services Transfer agent and cap table management services designed for privately-held companies with more than 10 shareholders, including paperless stock certificates, legal/regulatory compliance (SEC, IRS cost basis, OFAC, UCC), and preparation for going public on NASDAQ, NYSE, or OTC exchanges.
• Crowdfunding Transfer Agent Services (Reg CF, Reg D) Equity crowdfunding transfer agent services for Regulation CF, Reg D 506 crowdfunding offerings, providing cap table tracking, stock issuance, ownership transfers, investor support, regulatory compliance, and coordination with funding portals.
• Regulation A+ Transfer Agent Services Transfer agent services for Regulation A+ Tier I and Tier II offerings, including Reg A+ filing support (Forms 1-A, 1-K, 1-SA, 1-U, 1-Z), escrow services, DTC FAST/DWAC eligibility, exchange listing advisory, and Blue Sky compliance for Tier I offerings.
• DTC Eligibility Services DTC (Depository Trust Company) eligibility application and advisory services enabling public companies to deposit securities electronically, reducing broker clearing fees and improving market visibility and liquidity.
• DTC FAST / DRS Services DTC FAST (Fast Automated Securities Transfer) and DRS (Direct Registration System) agent participation enabling shareholders to hold book-entry electronic shares directly with the transfer agent, allowing electronic DWAC transfers to/from brokers without physical certificates.
• DWAC Transactions Deposit/Withdrawal At Custodian (DWAC) electronic share transfer service allowing shareholders to move shares between the transfer agent and brokerage accounts electronically via the DTC FAST system, bypassing physical certificate processing.
• DRS Transactions Direct Registration System (DRS) service enabling shareholders of public companies to hold shares in book-entry electronic form directly on the transfer agent's books without physical stock certificates, with electronic movement between brokers and transfer agents.
• Proxy & Annual Meeting Services Full-service shareholder meeting and proxy voting management including meeting planning, broker search and distribution, EDGAR proxy filing, printing and mailing, Notice and Access web hosting, real-time internet and telephone voting, vote tabulation, and Inspector of Elections services.
• Virtual Shareholder Meeting Services Virtual-only and hybrid annual shareholder meeting hosting platform supporting up to 500 in-meeting attendees, unlimited attendees via private link, up to 50 company presenters, screen sharing, live Q&A, integrated proxy voting, and Inspector of Elections tabulation.
• Online Proxy Voting Portal Secure online platform for shareholders to view proxy materials and vote shares using a 12-digit control number, with real-time voting confirmation and optional email delivery of voting confirmation.
• Press Release Services Financial press release distribution services through a partnership with Accesswire (NASDAQ GlobeNewswire), offering SEC fair disclosure-compliant full-service distribution at 20% discounted rates for Colonial clients, and a flat-rate DIY option at $210.
• Corporate Action Services Processing and management of corporate actions including stock splits, spin-offs, name changes, company buybacks, warrant offerings, tender offers, mergers and acquisitions, private placements, IPOs/SPOs, exchange agent services, and escrow disbursements.
• Stock Exchange Listing Consultation Consultation and advisory services for stock exchange applications and listing requirements across NASDAQ (Global Select, Global Market, Capital Market), NYSE, NYSE American, NYSE ARCA, IEX, and OTC Markets (OTCQX, OTCQB, OTC Pink), including 15c2-11 submissions, CUSIP applications, and DTC eligibility.
• Blue Sky Compliance Services State-level Blue Sky offering compliance services for Regulation A+ Tier I offerings and general securities offerings, ensuring adherence to individual state securities laws.
• CUSIP Applications CUSIP (Committee on Uniform Securities Identification Procedures) number application service enabling companies to obtain the 9-character alphanumeric identifier required for trading securities on U.S. stock markets.
• Shareholder Services (Investor Portal) Investor-facing online portal for shareholders to view holdings, transactions, stock awards, manage multiple accounts, update contact information, request lost certificate replacements, and complete restriction removals.

Quantifiable outcome

• Most transfer agent transactions processed within 24 hours
• +2 more outcomes

Named customers3 records

Segments6 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration7 records

Feature5 records

Partnerships

Six partnerships are on record, tiered minor and core.

• AccesswireminorGTM or Marketing PartnerColonial Stock Transfer and Accesswire have a joint venture partnership for financial press release distribution. Colonial clients receive exclusive 20% discounts on domestic press releases (15% for international) through Accesswire's distribution network covering top financial sites, investors, analysts, and search engines. Colonial acts as a referral channel driving clients to Accesswire's services.
• DTC (Depository Trust Company)coreTechnology or IntegrationColonial is an approved DTC FAST/DRS participant, enabling electronic book-entry share transfers via DWAC and DRS systems. DTC eligibility allows issuers to have shares traded electronically between brokerage accounts. Colonial processes FAST, DWAC, and DRS transactions on behalf of DTC-eligible issuers.
• Colonial FilingscoreTechnology or IntegrationColonial Filings is Colonial Stock Transfer's affiliated SEC EDGAR filing agent. Companies can submit Reg CF offerings and subsequent SEC filings through Colonial Filings' EDGAR filing infrastructure. Colonial Filings operates at colonialfilings.com with a resource center for SEC filings.
• CUSIP Global ServicescoreTechnology or IntegrationColonial assists companies in obtaining CUSIP numbers by submitting applications to CUSIP Global Services on behalf of issuers. CUSIP numbers are required for securities to be recognized and traded in the U.S. stock market.
• FINRAcoreOthersFINRA (Financial Industry Regulatory Authority) is the primary regulatory body overseeing OTC securities and broker-dealer activities. Colonial works with FINRA for 15c2-11 submissions, OTC corporate action notifications, and compliance with FINRA Rule 6490 for company-related actions.
• OTC Markets GroupcoreStrategic or Co-development PartnerColonial provides transfer agent services for companies listed on OTCQX, OTCQB, and Pink tiers of OTC Markets Group. Colonial participates in the Transfer Agent Verified Shares Program, a collaboration with OTC Markets that helps ensure reliable share data for OTC investors and enhances company credibility.

Scale indicators4 records

Recent moves6 records

Expansion highlights6 records

Broad incumbents

• Computershare: Largest global transfer agent and share registration provider, serving NYSE/NASDAQ/OTC issuers with the same core transfer agent, proxy, ESPP, and DR/FAST services Colonial offers but at materially larger scale and with global operations.
• Equiniti: Major US and UK transfer agent and share registration business with full-service transfer agent, proxy, employee equity plans, and cap table offerings - directly comparable to Colonial's bundled platform-plus-service model.

Direct peers

• American Stock Transfer & Trust Company (AST): Large SEC-registered transfer agent offering stock transfer, DTC FAST/DRS, proxy services, employee plan administration, and corporate actions to public and private issuers across the same segments Colonial targets.
• Continental Stock Transfer & Trust Company: SEC-registered full-service transfer agent with strong SPAC and small-cap issuer book, offering transfer agent, cap table, DTC FAST/DRS/DWAC, and proxy services - a very close functional competitor to Colonial.
• Shareholder Services Group: Mid-market SEC-registered transfer agent specializing in going-public transactions, SPAC, and small-cap issuers; offers transfer agent, proxy, EDGAR filing, and cap table services that overlap directly with Colonial.
• Issuer Direct Corporation: Provides transfer agent services through Direct Transfer Agent (formerly Colonial's competitor) along with proxy, EDGAR/XBRL filings, press release, and a proprietary cap-table platform - closely comparable product breadth.
• VStock Transfer: SEC-registered transfer agent serving small-cap and microcap public issuers and DTC FAST/DRS services; competes for the same OTC/NASDAQ/NYSE American segment as Colonial.
• Transfer Online: SEC-registered transfer agent focused on small-cap issuers offering stock transfer, DTC FAST/DRS, proxy, and EDGAR filing services - a smaller-scale direct peer.
• Pacific Stock Transfer: SEC-registered transfer agent providing transfer agent, cap table, DTC, and proxy services to small- and mid-cap public companies - head-to-head competitor for the same target issuer segments.

Emerging players

• Carta: Dominant private-company cap table and equity management platform with growing transfer agent and public-company services; competing on the same cap-table and shareholder-recordkeeping workflows from a software-first angle.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks5 records

Key highlights7 records

Customer concentration

• Xx.com/colonialstock
• YouTubeyoutube.com/channel/UC97T_G2vIsUQ1-V9Qe2OiPA
• Facebookfacebook.com/colonialstock
• LinkedInlinkedin.com/company/colonial-stock-transfer-company

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Colonial Stock Transfer